跨国污染转移对中国的渗透特征及治理研究

发布时间：2018-08-07 11:35

【摘要】：FDI对促进中国出口、经济增长和产业升级发挥了重要作用,废弃物进口也解决了一些地区和行业的能源和原材料短缺问题。但如果我们将环境容量作为资源要素,将环境资源禀赋纳入H-O模型,发现现实中的跨国污染转移已影响到中国的可持续发展,并且伴随中国经济的不断增长,跨国污染转移形式已由直接进入转为渗透进入,渗透特征由“北南单向渗透”发展到与“东西单向渗透”并存,由传统制造业的伴随性渗透发展到高新技术行业的隐蔽滞后性渗透等,但目前学者还没有对此进行研究并给出理论解释,因而也就忽略了要素跨国流动引致渗透污染的比较利益扭曲问题。鉴于此,本文立足跨国污染转移现状,从跨国污染转移对中国的渗透特征及时空演变出发,沿着贸易和投资两条主线展开对渗透特征的理论和实证分析,而跨国污染转移对中国的渗透特征形成机理主要是信息障碍,因此化解信息障碍的制度安排是治理跨国污染转移的关键,通过矫正信息扭曲进而矫正利益扭曲,达到对外开放与环境保护的良性互动。跨国污染转移对中国的渗透可归结为伴随性、隐蔽滞后性和产业链污染三大特征：一是伴随性渗透特征。跨国污染转移伴随中国经济增长具有在全球分布的由发达国家向发展中国家的“北南单向渗透”特征,在中国国内同时具有由东部沿海地区向中西部地区的“东西单向渗透”特征。废弃物进口对中国的“伴随性”渗透污染主要表现在禁止进口的有害废弃物以自动类或限制类固体废物进口名义夹带、欺骗或走私引致的渗透污染。伴随外资准入制度和技术引进的渗透污染主要表现在污染密集型行业和外资垄断行业,部分高新技术行业也具有伴随性渗透特征。二是隐蔽滞后性渗透特征。通过瞒报、夹带等手段以可资源化废弃物名义走私有害废弃物,以及大部分可资源化废物在堆放、再加工、消费等过程产生隐蔽滞后性渗透污染。由于高新技术特征掩盖了一些环保方面的隐患,因此FDI进入高新技术行业引致的隐蔽滞后性渗透污染更严重,其危害难以计量甚至不可逆。三是产业链渗透特征。不仅传统制造业、劳动密集型加工贸易环节,而且高新技术行业,特别是IT产品制造的层层外包致使“产业链渗透污染”包括IT产品的整个生产过程到最后的报废。可再生和不可再生资源加工行业也存在产业链渗透特征。本文在以下方面有创新性探索：第一,研究视角和方法的创新。从要素的跨国流动及时空演变视角探讨跨国污染转移对中国的渗透特征,从信息扭曲视角分析跨国污染转移对中国的渗透特征形成机理并提出化解信息障碍的制度安排有一定的理论和实际意义。研究方法除采用理论分析和一定的定量分析外,因隐蔽滞后性渗透污染、产业链渗透污染缺乏统计数据,还大量采用典型案例剖析跨国污染转移对中国的渗透特征。第二,从贸易和投资两条途径逐层剖析跨国污染转移对中国的渗透特征。一方面,废弃物进口对中国的渗透污染具有伴随性、隐蔽滞后性和产业链污染渗透特征,而可资源化废弃物“合法”进口对中国的渗透污染更具隐蔽滞后性。另一方面,跨国污染行业转移对中国的渗透特征主要表现在传统制造业的“伴随性污染”渗透特征、高新技术行业的“隐蔽滞后性污染”渗透特征、加工贸易及资源加工行业的“产业链污染”渗透特征。而中国IT行业FDI引致土壤污染典型案例分析进一步验证了跨国污染转移对中国的渗透主要通过投资途径,而土壤污染是中国目前面临的主要环境问题。第三,揭示了利益扭曲引致信息扭曲是跨国污染转移对中国的渗透特征形成的主要机理,因此治理跨国污染转移需从化解信息障碍出发,并最终协调跨国污染转移相关利益主体的利益关系。
[Abstract]:FDI plays an important role in promoting China's export, economic growth and industrial upgrading. Waste imports have also solved the shortage of energy and raw materials in some regions and industries. However, if we take environmental capacity as a resource factor, we incorporate the endowment of environmental resources into the H-O model, and the transnational pollution transfer in reality has affected China. Sustainable development, and with the continuous growth of China's economy, the form of transnational pollution transfer has been transferred from direct entry to infiltration, and permeation characteristics from "north and South unidirectional infiltration" to "East and West unidirectional infiltration", with the concomitant permeation of traditional manufacturing industry to the hidden and lagging penetration of high new technology industries. In view of this, this paper, based on the current situation of transnational pollution transfer, starts with the two main lines of trade and investment, based on the current situation of transnational pollution transfer and the infiltration characteristics and temporal spatial evolution of transnational pollution transfer to China. The theoretical and empirical analysis of the penetration characteristics, and the formation mechanism of China's infiltration characteristics by transnational pollution transfer is mainly information barrier, so the system arrangement to dissolve the information barrier is the key to control transnational pollution transfer. By correcting the distortion of information and correcting the interest distortion, it can achieve a benign interaction between external opening and environmental protection.
The infiltration of transnational pollution transfer to China can be attributed to three characteristics: concomitant, hidden hysteresis and industrial chain pollution.
The first is the characteristic of concomitant osmosis. The transnational pollution transfer has the characteristic of "north and South unidirectional infiltration" from developed countries to the developing countries along with the global distribution of China's economic growth. In China, it has the "East and West infiltration" characteristics from the eastern coastal areas to the central and western regions. "Sexual" infiltration is mainly manifested in the prohibition of the import of hazardous wastes in the nominal or restricted import of solid waste, and to deceive or smuggle the resulting infiltration pollution. Concomitant osmotic characteristics.
The two is the feature of concealed lag penetration. By means of concealment, entrainment, and other means to smuggle harmful waste in the name of resources, and most of the waste in the process of storage, reprocessing, consumption and so on produce hidden lag seepage pollution. Because of the high and new technology features concealment of some environmental problems, FDI entered high and new. The hidden hysteresis caused by the technology industry is more serious, and its harm is difficult to measure or even irreversible.
The three is the characteristics of industrial chain infiltration. Not only the traditional manufacturing, labor intensive processing trade links, but also the hi-tech industries, especially the layers of IT product manufacturing, cause the "industrial chain infiltration pollution", including the whole production process of IT products to the final scrap. Characteristics.
This article has innovative exploration in the following aspects:
First, we study the innovation of perspective and method. From the perspective of transnational flow and spatio-temporal evolution of the elements, this paper discusses the infiltration characteristics of transnational pollution transfer to China. It has some theoretical and practical significance to analyze the formation mechanism of transnational pollution transfer to China and put forward the institutional arrangement to resolve information barriers from the perspective of information distortion. In addition to the theoretical analysis and a certain quantitative analysis, the infiltration pollution of the industrial chain is lack of statistical data because of the hidden lag and infiltration, and a large number of typical cases are used to analyze the infiltration characteristics of transnational pollution transfer to China.
Second, from the two ways of trade and investment, it analyzes the infiltration characteristics of transnational pollution transfer to China layer by layer. On the one hand, the infiltration pollution of waste imports to China is adjoint, concealed lag and industrial chain pollution infiltration characteristics, but the "legal" import of resource waste is more concealed and lagging for China's infiltration pollution. On the other hand, the infiltration characteristics of transnational pollution industry to China are mainly manifested in the characteristics of "concomitant pollution" in traditional manufacturing industry, the infiltration characteristics of "hidden lag pollution" in high and new technology industries, and the infiltration of "industrial chain pollution" in the processing trade and the resource processing industry, and the typical soil pollution caused by FDI in China's IT industry is typical. The case study further proves that transnational pollution transfer to China is mainly through investment, and soil pollution is the main environmental problem facing China at present.
Third, it reveals that the distortion of information caused by interest distortions is the main mechanism of the infiltration of transnational pollution to China. Therefore, the management of transnational pollution transfer should start from dissolving the information barriers and ultimately coordinate the interests of the stakeholders of transnational pollution transfer.
【学位授予单位】：浙江大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：F832.6;X196

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